Darcie Peck - 11 Nov 2021 Form 4 Insider Report for LIGHTPATH TECHNOLOGIES INC (LPTH)

Role
Director
Signature
/s/ Natalie N. Cockayne attorney-in-fact
Issuer symbol
LPTH
Transactions as of
11 Nov 2021
Net transactions value
$0
Form type
4
Filing time
15 Nov 2021, 19:27:20 UTC
Previous filing
01 Oct 2021
Next filing
30 Mar 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction LPTH Class A common stock Options Exercise +7,407 7,407 12 Nov 2021 Direct F1
transaction LPTH Class A common stock Options Exercise +16,000 +216% 23,407 14 Nov 2021 Direct F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction LPTH Restricted stock unit Award $0 +32,086 $0.000000 32,086 11 Nov 2021 Class A common stock 32,086 Direct F2, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Restricted stock units were settled into Class A Common Stock on a one-for-one basis upon vesting.
F2 Each restricted stock unit represents a contingent right to receive one share of Class A common stock.
F3 The restricted stock units vest one year from the grant date. Directors may elect to defer receipt of the shares to a future date. Any unvested restricted stock units will vest immediately upon the director leaving the board.